Practice

At the outset, the U.S. Supreme Court's latest ruling against the Securities and Exchange Commission-that there is a five-year limit on bringing fraud claims- may sound like a victory for mutual funds and their advisors.

A dozen Senate Democrats and an Independent lawmaker have re-introduced a bill that would impose a minimum 30% tax on high income tax payers who earn more than $1 million as a way to help reduce the ballooning federal deficit.

At the outset, the U.S. Supreme Court's latest ruling against the Securities and Exchange Commission-that there is a five-year limit on bringing fraud claims- may sound like a victory for mutual funds and their advisors.

Program managers and bank advisors may not agree on everything, but most likely they see eye-to-eye on one thing: the desire to increase an advisor’s production.

Why is branding so important and how can you build a stronger brand?

Mary Jo White, President Obama's nominee to chair the SEC, faced little resistance at a Senate confirmation hearing as she said that, if confirmed, she intends to move swiftly to close the book on an array of rules that advisors have been watching closely.

Nuveen Investments has pulled the plug on the shares of its Nuveen Large Cap Select Fund (FLRYX) sold to 401(k) plans.

Mary Jo White, President Obama’s choice to run the Securities and Exchange Commission, may be compelled to provide more information about her ties to large banks as senators press her about how she would operate as Wall Street’s regulator.

Oppenheimer & Co. agreed to pay about $2.9 million to settle claims by the U.S. Securities and Exchange Commission that it misled investors in a private-equity fund.

Fidelity Investments, the biggest U.S. manager of money-market mutual funds, said there is growing agreement among company leaders and regulators to limit any new rules for the products to those eligible to buy corporate debt.